TW
Thomas J. Wickman
DANA INVESTMENT ADVISORS
Milwaukee, WI 53226
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CRD#: 466176
TW
Professional summary
Thomas J Wickman is a registered financial advisor currently at DANA INVESTMENT ADVISORS INC located in Milwaukee, Wisconsin.
Thomas is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1998. Thomas has worked at 2 firms and has passed the Series 1 exam.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
None
Other business activities
Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
I am a member of LCP Holdco, LLC. LCP Holdco, LLC will receive future payments relative to the sale of Legacy Capital Partners' assets to Dana Investment Advisors and is located at 1200 North Mayfair Road, Milwaukee, WI 53226. LCP Holdco, LLC is not investment related as it is a holding company of members' stock in Legacy Capital Partners. The company was created and I became a member in April of 2022. I devote less than one hour per month to this business, none of which are during securities trading hours, to receive periodic payments to the company.
CRS (Client Relationship Summary) - RIA
Click below to view Thomas J Wickman's CRS (Customer Relationship Summary).
Certified licenses
Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
NoneExperience
Current
June 1, 2022 - Present
DANA INVESTMENT ADVISORS INC
Office #1: 1200 North Mayfair Road, Suite 360, Milwaukee, WI 53226RIA
CRD#: 105879
Milwaukee, WI
Past
May 1, 1998 - June 3, 2022
LEGACY CAPITAL PARTNERS, INC.
RIA
CRD#: 105735
MILWAUKEE, WI
Primary Firm SEC Registration
This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".
DI
DANA INVESTMENT ADVISORS INC
DANA INVESTMENT ADVISORS INC
CRD#: 105879 / SEC#: 801-14828
RIA
Registered Investment Advisory firm - (9/21/1979 Approved)State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
IAR
means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.Highlighted states indicate IAR registrations
IAR
Wisconsin(6/1/2022)
Exams
General Industry/Product Exam
RR
Series 1
Date: 2/5/1969
Registered Representative ExaminationCurrent Firm
DI
DANA INVESTMENT ADVISORS INC
DANA INVESTMENT ADVISORS INC
CRD#: 105879 / SEC#: 801-14828
RIA
Registered Investment Advisory firm - (9/21/1979 Approved)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
20700 Swenson Drive, Suite 400, Waukesha, WI 53186-0904
Mailing Address
P.o. Box 1067, Brookfield, WI 53008-1067
Phone number
(262) 782-3631
Established
Firm type
Fiscal year end
# of Employees
62
SEC notice filing (52 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 3,699 |
| AUM (Assets Under Management) | $ 5,757,433,150 |
Red Flags
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Company Information
DANA INVESTMENT ADVISORS INC
CRD#: 105879Milwaukee, WI 53226TRUST BUT VERIFY
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